JEFFERIES INVESTMENT ADVISERS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 325421). Regulatory assets under management: $5.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
| Name | Role | Location |
|---|---|---|
| Sonia Han Levovitz | SECRETARY | — |
| Robert Vincent Peyreigne | MANAGING DIRECTOR- CO-PRESIDENT | — |
| Michael Joseph Pagano | MANAGING DIRECTOR- CO-PRESIDENT | — |
| Laurie R Goodman | MANAGING DIRECTOR-HEAD OF INVESTMENT & WEALTH SOLUTIONS | — |
| David J Nagy | CHIEF COMPLIANCE OFFICER | — |
| Franklyn Johnson Collymore | SENIOR VICE PRESIDENT, HEAD OF WEALTH MANAGEMENT SUPERVISION & RISK | — |
| GOODMAN MARK R | MANAGING DIRECTOR-HEAD OF INVESTMENT & WEALTH SOLUTIONS | — |
| PAGANO MICHAEL JOSEPH | MANAGING DIRECTOR- CO-PRESIDENT | — |
| PEYREIGNE ROBERT VINCENT | MANAGING DIRECTOR- CO-PRESIDENT | — |
| LEVOVITZ SONIA HAN | SECRETARY | — |
| NAGY DAVID J | CHIEF COMPLIANCE OFFICER | — |
| LIMROTH GEOFFREY SCOTT | MANAGING DIRECTOR- WEALTH MANAGEMENT CHIEF OPERATING OFFICER | — |
| COLLYMORE FRANKLYN JOHNSON | SENIOR VICE PRESIDENT, HEAD OF WEALTH MANAGEMENT SUPERVISION & RISK | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-11-09 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, SERURE CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE BORROWED A TOTAL OF APPROXIMATELY $7.3 MILLION FROM HIS CUSTOMERS WITHOUT PROVIDING NOTICE TO AND RECEIVING PRE-APPROVAL FROM HIS MEMBER FIRMS. THE FINDINGS STATED THAT SERURE WAS NEVER… | Final | $20K |